{
  "crd_number": 310511,
  "slug": "rockside-investments-llc-310511",
  "primary_business_name": "ROCKSIDE INVESTMENTS LLC",
  "legal_name": "ROCKSIDE INVESTMENTS LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2021-04-27",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-06-25",
  "carried_forward": false,
  "raum_total": 13249631.0,
  "raum_discretionary": 13249631.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 3816164.0,
      "count": 8
    },
    "high_net_worth_individuals": {
      "raum": 9433467.0,
      "count": 6
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "CA",
    "LA"
  ],
  "websites": [
    "https://rocksideinvestments.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310511",
  "disclosure_items": [
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/rockside-investments-llc-310511",
  "display_name": "Rockside Investments LLC",
  "summary": "Rockside Investments LLC is a state-registered investment advisory firm, registered since 2021, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 25, 2026.",
  "citation": "AdvisorCensus. Rockside Investments LLC (CRD 310511): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Rockside Investments LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Rockside Investments LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Rockside Investments LLC registered with the SEC or a state?",
      "a": "Rockside Investments LLC is a state-registered investment advisory firm, registered since 2021. Status as filed: APPROVED. CRD 310511."
    },
    {
      "q": "How much does Rockside Investments LLC manage?",
      "a": "Rockside Investments LLC reports $13,249,631 in regulatory assets under management in its Form ADV filing dated June 25, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Rockside Investments LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (8); high net worth individuals (6)."
    },
    {
      "q": "Does Rockside Investments LLC report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/310511"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/rockside-investments-llc-310511.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 3816164.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 6,
      "fewer_than_5": false,
      "raum": 9433467.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310511",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}